The Office of Administrative Law Judges supports the Commission's mission by conducting hearings, issuing initial decisions, and adjudicating ancillary matters in administrative proceedings. The Commission initiates an administrative proceeding by issuing an order instituting proceedings, which in most cases contains the Division of Enforcement's allegations against one or more respondents.
Conditions of Employment
You must be a US Citizen
The specific duties and responsibilities of the Chief Administrative Law judge include:
Assigning cases, in rotation to the extent practicable, to individual Administrative Law Judges assigned to the Office.
Assuring that hearing proceedings conducted by the Office are in accord with procedural requirements of the Administrative Procedure Act and specialized Commission rules of practice.
Monitoring, in consultation with other Administrative Law Judges in the Office, the status of pending cases and recommending· reasonable standards of quality, output, and general performance to assure the timely and expeditious processing of those cases.
Supervising and evaluating performance, in accord with government-wide and agency regulations and procedures, of such professional, technical, and clerical staff as are needed in the Office to support the judges in the conduct of their hearing proceedings.
Serving as liaison between the office, other offices in the agency, other government offices, and professional bar associations to promote better understanding of and improvement in the hearing process.
Performing special studies and such other duties as may be assigned which are not inconsistent with the responsibilities of a judge under the provisions of the Administrative Procedure Act.
MANDATORY QUALIFICATION: Candidates must have held a Federal ALJ position, at the AL-3 level or above for at least one year.
Licensure Requirement: Former ALJs at the time of application, must possess a professional license to practice law and be authorized to practice law under the laws of a State, the District of Columbia, the Commonwealth of Puerto Rico or any territorial court established under the United States Constitution.
Candidate must possess the following specialized experience:
Knowledge of and experience in litigation and/or administrative law at the Federal, State or local level.
Deciding cases and conducting proceedings involving federal statutes and the regulations promulgated under those statutes.
Knowledge of the statutes, and the Administrative Procedure Act, as well as applicable regulations thereunder that authorize the SEC's ALJs to conduct administrative hearings and rule on allegations of securities law violations.
Desired Skills and Experience:
Demonstrated experience analyzing, deciding, and communicating complex, technical, legal, and factual issues, including those involving federal administrative and securities laws.
Extensive legal writing experience involving the interpretation and application of complex statutory and/or regulatory frameworks.
Team building and leadership skills.
Demonstrated experience in adversarial litigation, including multi-day proceedings. Demonstrated ability to adjudicate a high volume of cases ranging from simple disputes to highly complex, contested cases in a timely manner.
Demonstrated capacity to effectively manage courtroom proceedings, communicate orally in a clear and precise manner, and apply appropriate judicial temperament towards parties and counsel.
This job does not have an education qualification requirement.
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.